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Associate Onboarding Consultant

Job ID: R-004495 Date posted: 11/28/2018 Primary Location SC-Fort Mill

Position Summary:

The ideal candidate will have an understanding of the financial services industry and a willingness to operate in a dynamic, fast-paced, customer-driven environment.  Outstanding customer service and effective communication skills are essential. Developing and maintaining essential relationships by acting as the primary point of contact and key business partner for prospects joining LPL’s Independent Advisor Services, Institution Services, and Hybrid RIA channels. Associate Onboarding Consultants (AOC) will conduct compliance reviews for prospects who qualify under low-risk profile criteria.

Essential Functions:

  • Develop and maintain essential relationships by acting as the primary point of contact and key business partner for transitioning prospects.
  • Successfully consult & manage all onboarding and integration activities with individual prospects and large groups including individuals converting between LPL platforms.
  • Analyze new advisor registration forms, credit and CRD information and use discretion to determine additional documentation required while maintaining strict confidentiality of advisor information. 
  • Conduct Low Risk Compliance reviews and facilitate discussions with prospects in the event additional items are required to complete Approval for affiliation.
  • Work closely with the prospect to determine license transfer and FINRA examination dates, fees and potential disclosure review delays.  Coordinate timely delivery of U4 and other registration materials to ensure seamless transfer of licenses to LPL Financial.
  • Facilitate process for existing LPL advisors to convert to the Hybrid RIA platform on LPL Financial. 
  • Coordinate the OBA Review Process by reaching out to the advisor to gather all required information to prepare & send over to our Advisor & OBA Review business partners.

Other Job Duties and Requirements:

  • Provide superior customer service to prospects by handling incoming inquiries on the department phone line regarding completion of the online registration package.
  • Coordinate training on systems and processes with advisors and/or their office staff.
  • Collaborate with appropriate business areas to answer prospects’ questions and act as a single point of contact in order to provide a quality onboarding experience.
  • Ability to adapt to a fluid environment with frequently changing priorities, processes, requirements, etc.
  • Flexibility to work evening hours and weekends if applicable based on volumes or projects.
  • Support department projects and initiatives as necessary.
  • Support other functions of the team such as reporting, data migration, service, etc. if applicable.
  • Ability to confidently present in front of small groups.

Education Requirements:
Bachelor’s Degree or minimum 3 Years Business Equivalent

Licenses/Certifications:

  • Series 7,63, or 66, preferred

Software/System Skills Preferred:

  • Microsoft Office Product Suite
  • Salesforce
  • BranchNet-Internal posting ONLY
  • Oracle-Internal posting ONLY
  • ASAT -Internal posting ONLY


    Soft Skills:

  • Self-motivated team player
  • Excellent verbal and written communication skills
  • Superior phone skills
  • Must be able to organize activities and handle multiple assignments simultaneously
  • Effective and timely follow-up required
  • Ability to identify efficiencies in existing processes and procedures in order to foster continuous improvement both individually and at the team level
  • Critical & Strategic Thinking Skills

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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  • Service and Operations, Fort Mill, South Carolina, United StatesRemove